SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
Clayton’s SEC Cracking Down on Individuals Over Institutions
By Melanie WaddellThis strategy consumes more resources, but the price is worth paying, the agencys two top enforcers say.
November 14, 2017
SEC Finds Widespread Compliance Failures Among Municipal AdvisorsA risk alert details frequently observed deficiencies in the areas of registration, books and records, and supervision.
November 14, 2017
House Passes Bill Requiring Safeguards on Trading DataThe CAT system, which tracks market activity, was scheduled to launch soon but exchanges are reportedly seeking a delay.
November 13, 2017
SEC’s Top 3 Enforcement PrioritiesStephanie Avakian, co-director of enforcement, said the agency is trying to be more strategic, expanding the use of digital analytics in investigations.
November 08, 2017
SEC Shows Off Cybersecurity Muscle Following EDGAR BreachStill, there are questions on how many cases will be brought by the new cyber unit.
November 08, 2017
SEC Creating Searchable Database of Bad BrokersThe site will be particularly valuable for spotting fraudsters who have been stripped of their registrations, SEC Chairman Clayton said.
November 07, 2017
SEC Warns Against Paid-to-Click Ad ScamsBe skeptical if you are offered high returns for buying advertising products or clicking on online ads, said SEC's Schock.
November 03, 2017
Ex-Merrill Broker to Pay $5M Over Excessive Commissions, Fees: EnforcementMeanwhile, a New Yorker pleaded guilty to securities fraud for his role in a Ponzi scheme involving "Hamilton" tickets.